Senior Wealth Risk & Controls Analyst

Citizens; Johnston (RI); Hybrid; USD 90,000 - 120,000; Full time

Job summary

Citizens is seeking a Principal Control Analyst to independently review investment and insurance submissions, determine principal outcomes, and improve control processes within Wealth Management. The role emphasizes risk assessment, regulatory oversight, and incident investigation to support compliant, efficient client service.

The position requires strong FINRA credentials and back-office experience, with an emphasis on communication, problem-solving, and partnership with internal teams.

Qualifications

• FINRA licenses required (Series 7 & 63 and either Series 24 or 9/10 with 6 month timeline).
• 3+ years in back-office Wealth Management Operations or Wealth Contact Center.
• Demonstrated strong active listening and problem-solving skills.

Responsibilities

• Conduct supervisory reviews of submitted investment/insurance business.
• Execute final principal determination for submitted business.
• Perform risk assessments to identify operational, regulatory and compliance risks in Wealth Management.
• Oversee compliance, regulatory oversight, control testing and monitoring; provide training and awareness.
• Lead incident management and investigations as needed.

Skills

FINRA licenses

Wealth management operations

Customer-focused mindset

Active listening

Communication skills

Risk assessment

Education

High school diploma

Tools

Excel

SharePoint

OneDrive

Salesforce

Wealthscape

Job description

Citizens is seeking a Principal Control Analyst to independently review investment and insurance submissions, determine principal outcomes, and improve control processes within Wealth Management. The role emphasizes risk assessment, regulatory oversight, and incident investigation to support compliant, efficient client service.

The position requires strong FINRA credentials and back-office experience, with an emphasis on communication, problem-solving, and partnership with internal teams.